Caroline Elizabeth Wells

Last updated
2 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Sarasin Investment Funds Limited (no longer approved here)

    FRN 122244

    • SMF16 Compliance Oversight (9 Dec 2019 to 5 Apr 2020)
    • CF11 Money Laundering Reporting (23 Dec 2013 to 3 Jun 2015)
    • CF10 Compliance Oversight (9 Jan 2006 to 8 Dec 2019)
  • SARASIN ASSET MANAGEMENT LIMITED (no longer approved here)

    FRN 163584

    • SMF16 Compliance Oversight (9 Dec 2019 to 5 Apr 2020)
    • CF11 Money Laundering Reporting (23 Dec 2013 to 3 Jun 2015)
    • CF10 Compliance Oversight (6 Mar 2008 to 9 Sep 2008)
  • Sarasin & Partners LLP (no longer approved here)

    FRN 475111

    • SMF27 Partner (9 Dec 2019 to 5 Apr 2020)
    • SMF16 Compliance Oversight (9 Dec 2019 to 5 Apr 2020)
    • CF11 Money Laundering Reporting (23 Dec 2013 to 3 Jun 2015)
    • CF4 Partner (9 Jan 2009 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Jan 2008 to 8 Dec 2019)

Recent activity

Updates to this individual's record on the FCA register.

No changes recorded yet.